Our Staff has compiled our research into a database of FINRA Broker Disclosures for UBS Financial Services Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Olumide Sigmund Wilkey | 4475348 | 2 | 03/29/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Olumide Sigmund Wilkey | 4475348 | 2 | 02/10/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Monica Lashawn Payne | 4579523 | 1 | 10/23/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Thomas Howard | 4954728 | 1 | 09/01/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Nathan Gordon | 3025868 | 2 | 06/09/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Charles Deluca | 2218518 | 1 | 02/18/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Paul Johnson | 2417283 | 3 | 12/29/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Ballard | 2131677 | 3 | 09/08/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Wayne Tolman | 2066775 | 3 | 06/03/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Anthony Paone | 2361148 | 1 | 05/27/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |